Senior Compliance Director - Values-Based Investing

Eventide; Boston, Northern (MA, KY); Hybrid; USD 140,000 - 170,000; Full time

Job summary

Eventide is a pioneering asset management firm focused on capital deployment to advance the global common good. Founded in 2008, Eventide embraces values-based investing and a biblical worldview.

The company has earned Best Places to Work awards and is dedicated to honoring God while serving clients through purposeful investments. Eventide is seeking a Compliance Director who will lead the design, implementation, and continual improvement of the compliance program.

Qualifications

• Bachelor’s degree in business, economics, or related field required; JD and/or MBA experience preferred.
• 10+ years in a financial services role involving compliance, legal or audit responsibility related to investment advisers, private funds, investment companies, and related distribution practices.
• Strong knowledge of the Investment Advisers Act and the Investment Company Act, including prior responsibility for related controls, policies, and/or reporting.
• Experience with a variety of product types, and in particular, private funds.

Responsibilities

• Draft and enhance policies and procedures related to Eventide’s private funds, separately managed accounts, mutual funds and ETFs, and provide guidance on their implementation, including effective compliance training.
• Analyze and research complex regulatory matters involving investment advisers, investment companies, marketing and distribution practices, and changes to business activities and regulations.
• Design, draft and maintain policies, procedures, responses to questionnaires (e.g. 15c, RFP, due diligence), regulatory filings (e.g. Form ADV, Form PF), compliance calendars, and other documents supporting compliance programs maintained by Eventide and the Eventide Funds under Rule 206(4)-7 and Rule 38a-1, respectively
• Review advertising, social media, electronic communications, conflicts of interest, fund disclosures, contracts, and other compliance oversight functions
• Perform oversight of sub-advisers, and help support GIPS compliance and valuation processes (Rule 2a-5)
• Present complex matters and recommendations to internal and external parties including senior management, sub-advisers, vendors, and regulators
• Provide regulatory training and guidance to all Eventide departments including portfolio managers, research analysts, trading, finance, sales and marketing, and operations
• Perform periodic risk assessments and testing
• Provide support for regulatory examinations and inquiries
• Monitor regulatory developments and provide updates to senior management
• Improve compliance processes to continually enhance efficiency and effectiveness, including through automation

Skills

Analytical skills

Communication skills

Writing skills

Attention to detail

Collaboration

Time management

Independent work

Education

Bachelor’s degree in business, economics, or related field

JD and/or MBA

Tools

AI

Google

Microsoft

Spreadsheets

EDGAR

Red Oak

MyComplianceOffice

Job description

Eventide is a pioneering asset management firm focused on capital deployment to advance the global common good. Founded in 2008, Eventide embraces values-based investing and a biblical worldview.

The company has earned Best Places to Work awards and is dedicated to honoring God while serving clients through purposeful investments. Eventide is seeking a Compliance Director who will lead the design, implementation, and continual improvement of the compliance program.